Compliance Associate — Brokerage Regulations Pro
ViewTrade
ViewTrade in Boca Raton, FL is seeking a licensed Compliance Associate with over 5 years of brokerage experience and a Series 24 License. This role involves assisting with compliance duties, managing regulatory documentation, and supporting team operations. The ideal candidate will excel in communication and possess strong problem-solving skills, showcasing attention to detail and the ability to work under pressure. A competitive salary and comprehensive benefits package, including health and retirement plans, are offered. #J-18808-Ljbffr ViewTrade
- ...Compliance Associate ViewTrade Securities is currently looking for a licensed Compliance Associate... ...with 5+ years of experience in the brokerage industry with a Series 24 License.... ...collecting documentation and data for regulator's requests. Assist clients and different...SuggestedFull timeWork at office
$112.3k - $142.43k
...other FINRA departments and other regulators. Provides assistance and support to Associate Director, Director, and Senior... ...unless otherwise required by law (all pro-rated in the first year).... ...required to disclose to FINRA all brokerage accounts that they maintain, and...SuggestedFull timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate start- ...consistently meet service expectations, regulatory and safety compliance measures, and are provided in a productive and profitable... ...streamsProvides expert knowledge as needed on each of the regulations associated with the waste streams being managed (i.e., EPA, DOT, DEA,...SuggestedContract workWork experience placementWork at officeLocal area
$85k
...Estimated annual base pay: Sr Sourcing Compliance Specialist: $85,000(minimum) - $110,000... ..., and tools to ensure adherence to regulations and internal guidelines. Conducting... ...areas of non-compliance and assess the associated risks. This often includes analyzing data...SuggestedPermanent employmentContract workTemporary workWork at officeLocal areaFlexible hours- ...Job Description The Senior Compliance Officer supports the firm’s compliance program across its broker-dealer, investment adviser... ...other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation...Suggested
- ...Operations Associate ViewTrade Securities is currently looking for an Operations Associate for our Boca Raton, FL office. We are... ...of all aspects of Operations processing with experience in the brokerage industry with a Series 7 License preferably, and Microsoft...Full timeWork at office
- ...redefine what’s possible.Pay Transparency: In compliance with pay transparency laws, pay ranges... ...for part-time roles will be pro-rated based on the agreed number of working... ...Stantec is in compliance with laws and regulations and ensures equitable opportunities in all...Full timeTemporary workPart timeCasual workLocal areaFlexible hours
$175k - $200k
Compliance Officer (Wealth Advisory) Bilingual (Spanish) 2 days ago Be among the first 25 applicants Get AI-powered advice on this job... ...and asset managers with compliance related to U.S. financial regulations, including FINRA and SEC requirements. The ideal candidate is...Full timeWork at office- ...consumer credit reporting, or related regulated industries.Experience analyzing operational... ...in highly regulated industries and compliance-driven environments.Advanced customer service... ...are available for review to any associate or applicant for employment upon request...Full timeTemporary workWork at officeFlexible hours2 days per week
- ...exterior elements. The ideal candidate will possess excellent interpersonal communication skills to effectively interact with clients during assessments. This opportunity offers a pathway to build skills in a vital area of home inspection and compliance. #J-18808-Ljbffr...Full time
- ...conducting comprehensive examinations of residential properties including structures, electrical, plumbing, HVAC, and exterior components to assess their condition, safety, and code compliance. Requirements: Excellent interpersonal communication skills #J-18808-Ljbffr...Permanent employmentFull timeLocal area
$70 - $73 per hour
...government, risk, and business professionals conduct research, manage compliance, and make more informed decisions. Their platforms combine... ..., and support critical decision-making across highly regulated industries. They're currently looking for a Senior Project/Program...Long term contractFull timeTemporary workWork at officeFlexible hours- ...your personal best.Pay Transparency: In compliance with pay transparency laws, pay ranges are... ...for part-time roles will be pro-rated based on the agreed number of working... ...Stantec is in compliance with laws and regulations and ensures equitable opportunities in all...Full timeTemporary workPart timeCasual workLocal areaFlexible hours
$26 - $28 per hour
A compliance consulting firm in Boca Raton seeks a Business Licensing Compliance Administrator for... ...process for business licenses, interpreting regulations, and supporting compliance efforts. Ideal candidates have an associate’s degree and 2+ years of relevant experience...- ...efforts for the identified gaps including assessment of new or enhanced implemented controls. ? Maintain IT security risk and compliance matrix and performs management reporting. This will include IT systems controls, and business process risks to meet compliance...Work experience placement
- ...Florida — someone passionate about protecting people, enforcing compliance, and fostering a proactive safety culture. This is a boots-on... ...for Federal (OSHA), state, and local safety and health regulations including NFPA. Reviews Subcontractors’ Site Specific Safety...Work experience placementFor subcontractorWork at officeLocal area
- ...volume of $2.2 billion. Headquartered in Amelia, Ohio, and with associates located across the United States, we are part of Munich Re's... ...members and internal customers with guidance. Communicate with regulators when called upon to support rate filings or modeling practices...Temporary workWork from homeFlexible hours
- ...values, apply to join our team. The Building Plan Review & Compliance Officer performs specialized administrative, regulatory, and documentation... ...private provider oversight, and ensuring audit readiness associated with legislative changes mandated by HB 803 and SB 1234....Hourly payWork experience placementWork at officeWorldwide
- ...A reputable Aerospace Private Equity Firm is looking to build their growing team with a Compliance Analyst. This position will help manage compliance operations. This company has an amazing reputation and is rapidly growing. They also provide equal employment opportunities...
- ...targets, managing a team of sales professionals, and ensuring compliance with regulatory requirements.PRIMARY RESPONSIBILITIES:Develop... ...targets.In-depth knowledge of Property & Casualty insurance regulations and compliance requirements.Ability to work collaboratively with...Full timeContract workWork at office
$54.46k - $81.55k
...A more comprehensive list of what we have to offer is available at We comply with all applicable federal, state and local laws, regulations, orders and mandates, including those we may be required to follow as a federal government contractor/subcontractor. You must be...Full timeFor contractorsFor subcontractorCasual workWork at officeLocal areaWork from home3 days per week- The Chronicle Of Higher Education, Inc. seeks an Associate General Counsel - Litigation. This role involves providing comprehensive legal... ...on transactional agreements, litigation, and regulatory compliance for university matters. With a focus on advising university leadership...
$19.5 - $20 per hour
The Compliance/Violations Coordinator is responsible for conducting regular inspections of... ...property to ensure compliance of the Association's Governing Documents: Articles of Incorporation... ...Restrictions and Easements, Rules and Regulations including standards developed by the...Full timeWork at officeLocal areaWeekend work3 days per week- ...CARF) We are members of the National Association of Addiction Treatment Providers (NAATP... ...of behavioral health, healthcare regulations, accreditation standards, patient safety... ...procedures, and clinical standards. Ensure compliance with federal and state regulations and...Full time
- ...while maintaining frequent contact with Associate Director of Regulatory Affairs.... ...corrections). Keeps abreast of new laws and regulations and assess impact on company products... ...company procedures are in full and ongoing compliance with regulatory requirements....Full timeFor contractorsWork at office
- ...maintaining frequent contact with the Associate Director of Regulatory Affairs. Responsible... ...Drug and Cosmetic Act, Code of Federal Regulations, FDA guidelines, and international... ...projects with constant interruptions. Compliance Requirements The minimum compliance expectation...For contractorsWork at officeImmediate start
- ...foster effective working relationships between colleagues, associates, clients, and officials.Stantec takes a measured... ...terminations or any other condition of employment. Stantec is in compliance with laws and regulations and ensures equitable opportunities in all aspects of...Contract workFor contractorsFor subcontractorWork at officeLocal areaWork from home
$60k - $100k
Job Description Job Description Our organization is currently seeking a talented and service-oriented Licensed Loan Officer or Junior Loan Officer. Please do not apply if you are not licensed. The successful candidate will have some experience in sales, exceptional...Work at officeRemote work- Our organization is currently seeking a talented and service-oriented Licensed Loan Officer or Junior Loan Officer. Please do not apply if you are not licensed. The successful candidate will have some experience in sales, exceptional communication and relationship-building...
- WizeHire, Inc in Boca Raton, FL is seeking a licensed Loan Officer or Junior Loan Officer. The ideal candidate will be talented and service-oriented, with some experience in sales and exceptional communication and relationship-building skills. A keen eye for detail is important...
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